- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Swap Dealer Compliance Officer will have responsibility for advising business and ... support functions on swap dealer and security-based swap dealer regulations. The Swap Dealer Compliance team is part of the MSS Compliance Team… more
- Insight Global (Salt Lake City, UT)
- Job Description Insight Global is seeking an Internal Audit Swap Dealer Associate to work for one of the world's premier financial institutions in Salt Lake ... as follows: Develop and maintain an in-depth understanding of the firm's Swap Dealer compliance program. Manage and execute audits focused on the firm's… more
- PNC (Cleveland, OH)
- …regulation of the OTC Derivatives Market is required. . Previous experience working for a Swap Dealer , Clearing House, Swap Data Repository, Swap ... and interact with IT resources. . Previous experience tailoring and implementing the Swap Dealer internal training program. . Managerial skills, and ability to… more
- SMBC (New York, NY)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible ... monitoring and testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have functional knowledge of applicable US… more
- Citigroup (New York, NY)
- …+ Overseeing the design, development, delivery, and maintenance of best-in-class Compliance, programs, policies and practices and sets strategic ICRM direction. ... Translates ICRM strategy and goals across Citi's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the program. + Leading and managing a staff of Compliance professionals, with direct accountability for hiring… more
- Bank of America (New York, NY)
- …CFTC, the NFA, the SEC, and various bank regulators on matters impacting the firm's swap dealer and FCM. The individual will engage with GCOR teams covering the ... Individual will be part of the GCOR Swaps Enterprise Area of Coverage **(" Swap Dealer EAC")** team which covers compliance with the Swaps Program across Bank of… more
- SMBC (Jersey City, NJ)
- …Mitsui Finance and Leasing Co., Ltd. **Role Description** SMBC Capital Markets, Inc, a swap dealer registered with CFTC, is seeking a highly skilled controller ... will be responsible for all aspects of accounting functions of the swap dealer such as monthly close, financial reporting, regulatory reporting, etc., and will… more
- SMBC (New York, NY)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... affiliate. The primary focus of this role will be on the US broker dealer and US swap dealer . The candidate should have a strong risk management / internal… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker- Dealer / Swap Dealer Reporting to the ... effectiveness of business controls established to ensure adherence with US broker- dealer and US swap dealer requirements and compliance with federal and… more
- CIBC (New York, NY)
- …with surveillance of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting + Maintain and enhance the documentation ... You'll Succeed** + Perform surveillance of the US registered broker- dealer and OTC derivative/ swap trading products with primary focus on Fixed Income. Other… more
- Truist (Atlanta, GA)
- …strong experience supporting Capital Markets - including but not limited to: Institutional Broker Dealer , Swap Dealer and/or Securities-based Swap ... Dealer .** + . **Strong working knowledge of process controls and risks in Capital Markets** + Master's degree in Finance or Business, or equivalent education and related training + 15 years of banking or relevant experience + Audit experience + Professional… more
- Citigroup (Tampa, FL)
- …oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:_ + ... reporting initiatives and enhancements + Control and exception management on swap dealer reports + Industry level advocacy across multiple trade associations +… more
- SMBC (New York, NY)
- …line credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, ... in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and… more
- SMBC (New York, NY)
- …spanning across the SMBC Capital Markets and Nikko securities teams, SMBC Americas Division's broker- dealer and swap - dealer entities + This role will be ... involved in the active development of the data platform, beginning with the establishment of a reference data system for securities and pricing data, and later moving to other data domains + This role will be part of the SMBC CM/Nikko development team, and… more
- Capital One (New York, NY)
- …Audit and exam support as a key component of the role. **Responsibilities** **:** ** Swap Dealer Regulatory Onboarding** **:** + Lead and manage the day-to-day ... Manage manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and Trading and Mergers & Acquisitions… more
- MUFG (Tempe, AZ)
- …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.) + Strong… more
- SMBC (New York, NY)
- …of the Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements. Communication and Leadership 1. Excellent communication ... with offices in London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and… more
- Truist (Charlotte, NC)
- …asset financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series 7, ... 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66). **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or… more
- SMBC (White Plains, NY)
- …development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer ... (Securities) buinsesses. + Coordinate and manage a portfolio of projects and activities, providing transparency of progress against the strategic roadmap + Lead projects from initial discovery phase through to final implementation, ensuring responsibilities… more
- SMBC (Jersey City, NJ)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission. **Role Objectives** + ... Support of business analysis and quality assurance for strategic projects and enhancements. + Participate in business requirements gathering with business and technology stakeholders. + Query source system databases using SQL. Support for data analysis,… more